Discretion
“My inbox contains forty new messages, neglect for the past three hours. I skim over the subjects and senders, deleting the unimportant. Messages from analysts and research reports, compliance.
The message that catches my attention is from Jennifer, per a series of trades for Lynelle Donachie, a widow I make a point to care for, though her account is far from the top. Her questions are basic and I reply with appreciation for attention to detail; she knows I will be meeting with the client this afternoon and can acquire the necessary signatures.
Seaton requires wet signatures on most paperwork. The advisor’s signature goes below the client’s, for integrity. This is a firm practice as result of a bad case.
Before I arrived at SCG, Sonia Fasano, an elderly client, had made sudden significant changes to her account risk tolerance and investment objectives. The securities in the account changed from conservative bonds to common stocks, options, and some managed futures—a complet...e contrast to her earlier holdings.MoreLess
The message that catches my attention is from Jennifer, per a series of trades for Lynelle Donachie, a widow I make a point to care for, though her account is far from the top. Her questions are basic and I reply with appreciation for attention to detail; she knows I will be meeting with the client this afternoon and can acquire the necessary signatures.
Seaton requires wet signatures on most paperwork. The advisor’s signature goes below the client’s, for integrity. This is a firm practice as result of a bad case.
Before I arrived at SCG, Sonia Fasano, an elderly client, had made sudden significant changes to her account risk tolerance and investment objectives. The securities in the account changed from conservative bonds to common stocks, options, and some managed futures—a complet...e contrast to her earlier holdings.MoreLess
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